Below is a list of policies and procedures for candidates taking the FINRA Series Exams.

Identification Requirements

Please present one form of government-issued, valid identification, bearing both a photograph and a signature. No photocopies or faxes of identification or of name change documentation will be accepted.

Rules of Conduct

FINRA requires that you read, understand and electronically agree to remain compliant with the Rules of Conduct prior to beginning your scheduled exam.

Personal Items

No personal items, food or drink, are permitted inside the testing room. Personal items include, but are not limited to: pens, pagers, cellular phones, watches, hats, non-medical electronic devices, outerwear, purses and wallets. If testing at a Prometric test center, personal items must be kept in your assigned locker or returned to your car prior to the start of your exam. As the testing vendor is not responsible for any personal items, they encourage you to bring only your identification into the Center. If testing online, personal items must be left outside of the room you test in.

Religious Apparel

Religious items such as head coverings, rosary beads, kabbalah bracelets, etc., are permitted in the testing room after being visually inspected by the Test Center Personnel. Similar to any other clothing or jewelry, any religious items allowed to be worn in the testing room must remain on at all times. Removed religious apparel must be stored in your locker.

Calculators

Test Center Delivery: If you need a calculator for your testing session, please see the Test Center Personnel. You will be provided with a non-programmable, non-printing calculator.

Online Test Delivery: A physical calculator is not permitted. A four-function calculator is available on screen as part of your exam.

Note Boards/Markers

Test Center Delivery: Erasable note boards and dry erase markers will be provided to you upon admittance to the testing room. The note boards and markers must be returned at the end of your exam.

Online Test Delivery: Scratch paper/erasable note boards are not permitted. The system provides an electronic scratch pad to make notes.

Unscheduled Breaks

Test Center Delivery: Unscheduled breaks are permitted; however, the time on your exam will continue to count down. You will be asked to sign the logbook and show your identification both when exiting and re-entering the testing room. Per FINRA testing policies, you are not permitted to leave the building during an unscheduled break unless required to do so to use the bathroom facilities. You will not be permitted to access any study materials, make any phone calls, access electronic media or your locker during an unscheduled break. If you need to access an item stored in the test center locker during an unscheduled break, such as food or medicine, you must notify the Test Center Personnel before you retrieve the item. You are not permitted to access any personal item as referenced above.

Online Test Delivery: Unscheduled breaks are permitted; however, the time on your exam will continue to count down. You must notify your proctor if you need to take an unscheduled break. Upon return from an unscheduled break, a security check will be performed. Per FINRA testing policies, you will not be permitted to access any study materials, make any phone calls, or access electronic media during an unscheduled break.

Appointment Length vs. Test Time

For all FINRA appointments, an additional 30 minutes is scheduled to allow for the completion of the tutorial presented prior to your session and the post-exam survey. For test center delivery, the additional time for these activities cannot be used toward completing the exam itself or writing on your center-provided note board. For example, if you are scheduled to take the SIE exam, your SIE appointment will be scheduled for 2 hours and 15 minutes. Once you have been signed in and have completed the tutorial, the first test question will be presented, and a timer with 1 hour and 45 minutes will appear on the monitor. At this point, you can begin to answer test questions.

Results

Test Center Delivery: Upon completion of your exam, your result file will be electronically encrypted and returned to FINRA. You will be provided with a printed copy of your pass/fail results. Your firm's Compliance/Registration Department should receive official notification of your pass/fail results or completion status within 48 hours. If you have questions regarding your results, please contact your Compliance/Registration Department for assistance.

Online Test Delivery: Upon completion of your exam, you will not receive your official result report. Your pass/fail result will be displayed on screen. Then, within three business days, your official results will be sent to the email address provided at the time of your appointment scheduling.

Special Accommodations

If you require special accommodations, you cannot schedule your test via the internet. If you have not received or would like to request approval for an accommodation, please call FINRA's Candidate Services Team at: 800-999-6647 and select Option 2 to request accommodations. Please note that any request to bring any personal belongings into the testing room or during online test delivery must be approved prior to scheduling your appointment. Personal belongings include but are not limited to: prescription medications, medical devices, etc.

How do I become eligible to take an FINRA exam?

You must be registered for your examination(s) with FINRA and receive authorization from your sponsoring firm prior to scheduling your appointment at a Prometric Testing Center.

What time must I arrive at the Testing Center?

Please plan to arrive 30 minutes before your scheduled appointment to allow time for check-in procedures. You may be allowed to start your exam early if a seat is available.

You will not be allowed to test if you arrive later than 30 minutes after your appointment start time and a seat is unavailable to accommodate your full testing time. You, or your firm, will be required to open and pay for a new enrollment before rescheduling your appointment.

What do I bring to the Testing Center?

Bring one valid, government-issued identification with a signature and picture, such as an unexpired driver’s license, passport or military ID. Ensure that your name on this ID is the exact same name under which your exam is scheduled. No electronic, photocopies or faxes of ID or of name change documentation will be accepted. All other personal items must be placed in a locker for test security purposes, so please limit what you bring to the Test Center.

What is the re-schedule and cancellation policy?

For detailed information, please review FINRA's cancellation policy. 

Appointments may be altered using the Reschedule/Cancel option on this website or Prometric's Automated Voice Response System at: 800-578-6273; both are available 24 hours a day, 7 days a week. There is no charge for rescheduling or canceling an appointment if the change is made in a timely manner. Untimely cancellation of an exam or failing to show for an appointment is subject to a penalty fee. Refer to FINRA's cancellation policy.

Is payment due at the time of my exam?

No payment is due. FINRA collects payment directly.

What if I require Testing Accommodations?

Important: If you require accommodations, these must be pre-approved by FINRA's Testing Accommodations Team. Please visit FINRA Testing Accommodations page for more information. Testing accommodations are generally limited to extra time for candidates that are testing remotely.

Why do you need so much contact information from me?

Should a center be unable to administer your test because of a technical problem or some other emergency (including weather-related ones), your appointment will be rescheduled with no additional charge. During the registration process, you will be asked to provide a primary and secondary phone number so that we can contact you in case of an unforeseen problem at the testing center. Also, in order to register online you must provide an e-mail address. Prometric will send you an e-mail confirming your appointment.